Communications to Firms
Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.
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February 26, 2016 February 2016 Board Update |
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February 4, 2016 A Few Minutes with FINRA: BrokerCheck Rule 2210 Joe Savage, FINRA Vice President and Counsel – Regulatory Policy, expands upon FINRA Regulatory Notice 15-50, which describes FINRA Rule 2210 requiring firms to include a link to BrokerCheck on their website. He also provides details on several optional BrokerCheck-related tools and resources. |
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January 5, 2016 2016 Regulatory and Examination Priorities Letter Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. |
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December 15, 2015 Update: FINRA Board of Governors Meeting Rulemaking items discussed at the December meeting include: ATS block data, award offsets in arbitration, qualification and registration, and shortening the settlement cycle. |
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December 15, 2015 December 2015 Board Update |
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September 17, 2015 Update: FINRA Board of Governors Meeting Items discussed at the September meeting include: Financial Exploitation of Seniors and Other Vulnerable Adults; FOCUS Report Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items; OTC Bulletin Board; Securities Trader Qualification Exam Fee; Dispute Resolution Party Portal and Expungement of Customer Dispute Information. |
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September 17, 2015 September 2015 Board Update Video FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to review rulemaking and other issues discussed at FINRA's September Board of Governors meeting. |
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July 9, 2015 Update: FINRA Board of Governors Meeting Items discussed at the July 2015 meeting include: coordination with the MSRB, fixed income pricing disclosure, and National Adjudicatory Council changes. |
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July 9, 2015 July 2015 Board Update Video FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to review rulemaking and other issues discussed at FINRA's July 2015 Board of Governors meeting. |
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April 16, 2015 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: communications with the public, mark-up/mark-down rule application to US treasury securities, the municipal adviser exam fee, and the trading activity fee. |